2015年证券从业资格考试-基础押题卷三(含答案).pdf

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1、考证宝 历年真题库kaozhengbao 基础押题卷三题目单项选择题(1)对于投资者尤其是机构投资者来说,()是他们避险套利的重要工具。A 债券基金B 股票基金C 衍生证券投资基金D 指数基金(2)以下关于证券市场法律法规的表述中，错误的选项是。A 证券法属于行政法规B 证券公司监督管理条例和证券公司风险处置条例属于行政法规C 证券投资基金法属于法律D 反洗钱法属于法律(3)投资人可在基金合同约定的时间和场所向基金管理公司申购和赎回的基金被称为。A 开放式基金B 封闭式基金C 契约型基金D 公司型基金(4)向特定的投资者发行、审查条件相对较松、不采用公示制度的证券是()。A 公募证券B 私募证

2、券C 上市证券D 非上市证券(5)股份溢价发行股票时,所募集的资金中等于面值总和的部分记入股本账户,超过股票面值金额的溢价款列为公司的()。A 资本损益B 法定公积金C 盈余公积金D 资本公积金(6)沪深 300 股指期货合约的最低交易保证金是合约价值的。A 12%B 5%C 10%D 8%(7)一般来讲,政府债券与公司债券相比 。A 公司债券风险小,收益高B 政府债券风险大,收益高C 公司债券风险大,收益低D 政府债券风险小,收益稳定(8)NASDAQ综合指数是按每个公司的 来设定权重的。A 资产总值B 票面价值C 资产净值D 市场价值考证宝 历年真题库kaozhengbao(9)我国证券法

3、规定了对证券公司进行管理。A 分为综合类和经纪类B 分为创新类和标准类C 按照业务类型D 按照规模不同(10)公司型基金反映的经济关系是。A 债权关系B 所有权关系C 信托关系D 债券关系(11)根据产业周期理论,任何产业或行业通常要经历()个阶段。A 2 B 3 C 4 D 5(12)证券金融公司转融通的期限一般不超过()个月。A 6 B 3 C 9 D 12(13)证券公司申请融资融券业务资格的条件之一是,其客户资产必须安全、完整,客户交易结算资金必须实行()。A 第三方存管B 风险管理C 第三方托管D 风险监控(14)以下关于我国证券投资基金信息披露的表述正确的选项是()。A 基金合同不

4、需要公开披露B 基金托管人不属于信息披露义务人C 基金财产的资产组合月度报告需公开披露D 基金财产的资产组合季度报告需公开披露(15)有价证券按发行主体不同,可以分为()、政府机构证券和政府证券。A 股票证券B 公司证券C 凭证证券D 商业证券(16)公司债券上市交易后，公司未按照公司债券募集方法履行义务，由证券交易所决定。A 终止其公司债券上市交易B 暂停其公司债券上市交易C 取消其公司债券上市交易D 以上都不对(17)中国债券指数系列覆盖了交易所市场和银行间市场所有发行额在人民币以上，待偿期限在以上的债券，指数样本债券每月月末调整一次。A 20 亿元，1 年文档编码:CZ9L1T6P10U

5、9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5

6、 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文

7、档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P1

8、0U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4

9、U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O

10、3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6

11、P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3考证宝 历年真题库kaozhengbao B 50 亿元，2 年C 50 亿元，1 年D 20 亿元，2 年(18)在欧洲债券市场中,允许权证持有人以约定的价格购买发行人的普通股票的债券,称为。A 附货币权证债券B 可转换债券C 附权益权证债券D 附债务权证债券(19)以下符合我国证券公司自营业

12、务合规要求的表述是 。A 证券公司为从事自营业务的子公司提供融资或者担保不得超过其净资本的90%B 证券公司不可以参与股指期货交易C 证券公司不可以委托其他证券公司进行证券投资管理D 证券公司将自有资金委托于基金管理公司进行证券投资管理，投资规模合计不超过其净资本 80%的，无须取得证券自营业务资格(20)以超过票面金额的价格发行股票所得的溢价款项列入发行公司的。A 任意公积金B 法定公积金C 资本公积金D 盈余公积金(21)在没有优先股的条件下,普通股票每股账面价值是以公司()除以发行在外的普通股票的股数求得的。A 净资产B 净资本C 总资产D 总资本(22)自律性组织包括证券交易所和。A

13、会计事务所B 证券信用评级机构C 证券公司D 证券业协会(23)与封闭式基金相比,()是开放式基金所特有的风险。A 市场风险B 技术风险C 巨额赎回风险D 管理能力风险(24)我国证券法规定，证券业协会的权力机构为。A 股东大会B 会员大会C 理事会D 董事会(25)上市公司应当在每一会计年度第3 个月、第9 个月结束后的()内编制完成季度报告并披露。A 1 个月文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1

14、Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ

15、9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA

16、5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5

17、A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:

18、CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9

19、HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 Z

20、N5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3考证宝 历年真题库kaozhengbao B 2 个月C 3 个月D 4 个月(26)以在 NASDAQ 市场上市的、所有本国和外国的上市公司的普通股为基础计算的是()。A NASDAQ综合指数B NASDAQ100指数C NASDAQ 全国市场综合指数D NASDAQ 全国市场工业指数(27)证券公司总经理依据公司法、公司章程的规定行使职权,并向()负责。A 证券监督管理部门B 股东会C 监事会D 董事会(28)期限相同的企业债券利率比政府债券利率高，这主要是对的补偿。A 经营风险B 财务风

21、险C 信用风险D 利率风险(29)以下关于公司财政状况分析的说法错误的选项是()。A 销售利润率视为盈利性指标B 净资产收益率视为盈利性指标C 周转率视为安全性指标D 杠杆比率视为安全性指标(30)我国证券法规定,证券公司经营证券承销与保荐、证券自营、证券资产管理业务之一的,注册资本最低限额为人民币。A 三千万元B 五亿元C 五千万元D 一亿元(31)基金交易费中由证券公司按成交金额的一定比率向基金收取的费用是()。A 经手费B 印花税C 交易佣金D 过户费(32)最可能存在投资者大量赎回风险的证券投资基金是()。A 开放式基金B 封闭式基金C 公司型基金D 契约型基金(33)证券公司的()或

22、其他风险控制指标不符合规定的,国务院证券监督管理机构应当责其限期改正。A 净资产B 净资本C 利润率文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码

23、:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9

24、 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5

25、ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档

26、编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10

27、U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U

28、5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3考证宝 历年真题库kaozhengbao D 净收益(34)财政政策对股票价格影响的主要渠道之一是通过调节税率影响企业。A 收入和支出B 利润和税负C 股票价格D

29、利润和股息(35)有权对违反法律、行政法规及相关监管规定的有关责任人员，采取证券市场禁入措施。A 中国证监会B 证交所C 证券业协会D 证券公司(36)在美国,对信用评分较高但信用记录较弱的个人提供的住房抵押的贷款是 。A 次级贷款B Alt-A 贷款C 住房权益贷款D 机构担保贷款(37)关于地方政府债券,以下说法错误的选项是()。A 是地方根据本地区经济发展和资金需求状况，以承担还本付息责任为前提，向社会募集资金B 地方政府债券按资金用途和归还资金来源分类，通常可以分为一般责任债券和专项债券C 我国从 1996 年起，地方政府不得发行地方政府债券除法律和国务院另有规定外D 近几年，国债发行

30、总规模中有少量中央政府代地方政府发行债券(38)期货 IB 业务起源于()。A 英国B 德国C 意大利D 美国(39)从理论上说,金融期货交易中双方潜在的盈利或亏损都是()的。A 有限B 可测C 无限D 可知(40)债券的价格变动风险随着期限的增加而。A 降低B 增加C 不变D 无法确定(41)投资者在从事证券交易之前，必须向提交有关开户资料，开立证券账户后，才可以从事证券交易。A 证券交易所B 证券业协会C 证券登记结算公司D 证券公司文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F

31、5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1

32、T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2

33、Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q

34、9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9

35、L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5

36、M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A

37、1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3考证宝 历年真题库kaozhengbao(42)与封闭式基金相比，是开放式基金所特有的风险。A 巨额赎回风险B 管理能力风险C 技术风险(43)我国的商业银行债券不包括。A 普通债券B 次级债券C 政策性金融债券D 小微企业专项金融债券(44)我国证券公司的设立采取()。A 有限责任公司或股份B 合伙C 个人独资企业D 股份合作制(45)证券的价格是证券市场上共同作用的结果。A 证券供求双方B 投资者与证券交易所C 证

38、券供求者D 证券需求者(46)责令更换董事、监事、高级管理人员或者限制其权利,属于中国证监会有权对证券公司采取的()。A 监管措施B 治理措施C 处罚措施D 以上都不对(47)负责基金的具体投资决策和日常管理的机构是。A 基金托管人B 基金管理人C 基金发起人D 基金受益人(48)尽管交易双方可以到期进行合约的结算,但多数情况下,()并不进行实物交收,而是在合约到期前进行反向交易,平仓了结,且交易双方并不需要知道交易对手的情况。A 互换B 远期合约C 期货合约D 期权(49)金融期货一般不包括()。A 外汇期货B 利率期货C 股权类期货D 债权类期货(50)中证指数于2008年 2月 4日正式

39、发布中证基金指数系列,以反映中国()的整体绩效表现。A 开放式基金市场B 封闭式基金市场文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1

40、T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2

41、Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q

42、9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9

43、L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5

44、M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A

45、1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3考证宝 历年真题库kaozhengbao C 公司型基金市场D 契约型基金市场(51)通常在每个交易日连续公布基金份额资产净值的基金是()。A 封闭式基金B 开放式基金C 公司

46、型基金D 契约型基金(52)证券公司经营证券承销与保荐、自营、资产管理、其他证券业务中两项及两项以上的,其净资本不得低于人民币。A 2 亿元B 2000 万元C 5000 万元D 1 亿元(53)()是指证券公司接受委托,向客户提供投资建议服务,辅助客户作出投资决策,并直接或间接获取经济利益的经营活动。A 证券投资参谋业务B 证券经纪业务C 财务参谋业务D 证券自营业务(54)()于 2004 年 1 月 31 日发布关于推进资本市场改革开放和稳定发展的假设干意见,提出了九个方面的纲领性意见,被称为“国九条”。A 财政部B 证监会C 中国人民银行D 国务院(55)关于推进资本市场改革开放的稳定

47、发展的假设干意见(即“国九条”)将发展中国资本市场提升到()的高度。A 保证经济增长B 国家战略任务C 维持社会稳定D 坚持改革开放(56)在没有优先股的条件下，普通股票每股账面价值是以除以发行在外的普通股票的股数求得的。A 公司净资产B 公司总资产C 公司总负债D 公司总收入(57)交易者买入看涨期权，是因为其预期基础金融工具的价格在合约期限内将会。A 上涨B 下跌C 不变D 无法确定(58)基金资产估值引起的资产价值变动作为公允价值变动损益计入()。A 当期损益文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y

48、1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9

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50、1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M2Y1M4U5 ZN5A1Q9F5O3文档编码:CZ9L1T6P10U9 HA5M